Peter G. Lapina
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter G Lapina, who also goes by Peter Gerard Lapina, Peter Lapina, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1990. Peter had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2023 - February 26, 2025
STONEX FINANCIAL INC.
April 1, 2020 - November 13, 2023
IMPERIAL CAPITAL, LLC
May 2, 2018 - April 3, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 30, 2016 - May 4, 2018
GUGGENHEIM SECURITIES, LLC
October 1, 2008 - March 22, 2016
J.P. MORGAN SECURITIES LLC
February 6, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 28, 2001 - February 14, 2008
CITIGROUP GLOBAL MARKETS INC.
September 2, 1998 - July 28, 2000
CREDIT AGRICOLE SECURITIES (USA) INC.
January 6, 1998 - September 3, 1998
JPMSI
May 2, 1990 - December 22, 1997
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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